Print Management frequently asked questions

What are the recommendations for libraries wanting to catalog journal holdings in the LHR?

Please note that these guidelines were designed and tested for journal holdings. While the data structures theoretically would be usable for monographs, there may be variations in functions related to using LHRs for monographs that have not been tested.

Libraries participating in shared print agreements are encouraged to begin to disclose preserved print journal holdings in WorldCat according to this method as soon as possible.

Use the 583 Preservation Action Note to describe specific characteristics of the print archives action(s) for each set of holdings

Use of the 561 Ownership and Custodial History tag in the holdings record is also encouraged to enable institutions to track the originating source of print archive holdings sourced from multiple libraries. In addition, the use of Group Access Capability and Group Catalogs is recommended to support aggregated views of shared print holdings for resource sharing, collection management and collection analysis.

Why do I need a separate OCLC institution symbol?

Libraries participating in print archiving programs will need to define additional OCLC Institution Symbols to identify print archived titles in their library storage facilities and full–service, on–site collections. Separate OCLC Institution symbols readily identify the shared print status of a title at the title level. The symbols are needed to facilitate interoperability with resource–sharing and collection analysis systems and to support aggregating shared print resources in group catalogs.

The symbol indicates that a title is subject to some form of a retention commitment at a given institution, but it does not indicate the specific print archiving program(s) to which the materials are contributed. A particular repeatable subfield in the 583 is used to indicate the print archive program (‡f). The combination of shared print symbol and 583 ‡f allows institutions to contribute materials to multiple print archiving programs with minimal record maintenance.

The separate OCLC Institution Symbol allows the library or shared print program to define different lending behaviors for these items compared to materials in the general collection or storage facility. These different behaviors could include e.g., non–circulating, circulating only to certain borrowing institutions, last resort lender (or conversely, priority lender) and loans for building–use only. The "Findings" and "Implementation Steps" sections of this report describe how the symbols are set up and associated costs.

How are Holdings Records being used?

Local Holding Records (LHRs) are used to identify copy–specific holdings information in OCLC for print resources subject to a retention commitment. Archiving institutions create LHRs for their shared print resources, indicating the holdings to which the retention commitment applies. This extends use of the LHR as a vehicle for reporting item–level holdings in WorldCat.

What if I already provide LHRs to OCLC?

For institutions that already provide LHRs to OCLC, libraries should remove the archived holdings from the original LHR or holdings data, so they will no longer be reflected under the original institution symbol. This is important to preserving the integrity of the holdings data and limiting the extent to which related holdings are duplicated across multiple institution symbols, which has implications for discovery, delivery and collection analysis.

What is the 561 used for?

The 561 in the LHR is used to record the original institution symbol (or symbols, in the case of consolidated holdings from multiple institutions) to indicate original or prior ownership of some or all holdings subject to the retention commitment.

Why is the 583 field being used?

The 583 field is used to record information about preservation actions. For purposes of current and future shared print initiatives, the 583 is recommended for use in recording print retention commitments and related actions. Such commitments are made by an institution as part of its participation in a collaborative print archiving program. The 583 field includes information about the following:

Action and type of physical review undertaken to verify completeness or condition, if any (retained, condition reviewed, completeness reviewed)

Retention commitment (date the retention commitment expires)

Institution (i.e., making the retention commitment)

Authorization (the Print Archive program(s) to which the materials are contributed)

Validation level (none, volume, issue, or page level)

Outcomes of validation (includes standard terms that are or will be integrated into the Preservation & Digitization Actions: Terminology for MARC 21 Field 583 (PDA). e.g., explicit enumeration of missing volumes, issues, presence of reprints, tight bindings, damage)

Specific details about the 583, its subfields, indices and controlled vocabulary are provided here as well as in the project report.

How many 583 Action Notes must I have?

The LHR may include one, two, or three 583 print archiving Action Notes, as needed to document print archiving actions. Additional 583 Action Notes may be needed to document other kinds of preservation activities. At a minimum, the LHR will contain one 583 Action Note to identify the retention commitment ("committed to retain") and the retention period. If the print resources are reviewed for completeness, a second 583 Action Note is included ("completeness reviewed") and the outcomes of that review are noted (e.g., missing units, binding anomalies, reprints). If the print resources are also reviewed for condition, a third 583 Action Note is included ("condition reviewed") and the outcomes of that review are noted. Additional 583 Action Notes may be needed to describe other preservation actions, including digitization, mass de–acidification, etc.

Note: If a given title/holdings is archived under multiple print archives programs having different terms (e.g., different retention period, validation level), libraries should enter separate sets of 583 fields to describe the different terms that apply to these items.

For validated holdings only, the bibliographic holdings statement(s) is updated once validation is complete (i.e., 85x/86x formatted holdings or 866 summary holdings statement). Details about the LHR are provided in the project report.

How do I establish Group Access Capability?

The recommended approach is to establish a Group Access Capability (GAC) profile for each print archiving program (e.g., WEST, Orbis–Cascade Alliance Distributed Print Repository, UC Shared Print) to facilitate resource sharing. An additional, more global GAC profile may also be desirable to unite all print archiving programs.

The GAC facilitates borrowing and lending within and between institutions affiliated and not affiliated with archiving programs. Staff at affiliated and unaffiliated libraries can readily identify the aggregation of print holdings subject to a retention commitment within a program or programs without inspecting individual titles or holdings statements.

The GAC also facilitates local and group collection management decisions. Staff at affiliated and unaffiliated libraries can readily identify the aggregate print holdings that are subject to a retention commitment and within an archiving program, without the "noise" of other library holdings.

What is being done about Group Catalogs?

The recommended approach is to establish a Group Catalog for each print archiving program (e.g., WEST, Orbis–Cascade Alliance Distributed Print Repository, UC Shared Print, Committee on Institutional Cooperation Shared Print Repository) to facilitate local and group collection management decisions. An additional, more global group catalog may also be desirable to unite all print archiving programs.

A Group Catalog makes it possible for staff and users affiliated (and not affiliated) with a print archiving program to view aggregated holdings and to search for either aggregate holdings or individual titles in a print archiving program. The Group Catalog is useful to support inter–institutional visibility of resources subject to a shared print commitment (and their archived status) and to an individual library's collection management decisions.

Where do I create an LHR?

Two approaches to record creation and contribution were tested:

Manual creation of LHRs using OCLC Connexion browser (currently the Connexion client does not support this option)

Batch loading of LHRs using standard OCLC batch load procedures

What types of statements should I provide using the OCLC Connexion Browser?

Figure 1: Local holdings for an unvalidated (WEST "bronze") print archive title held by the University of California, San Diego. This title is part of the West print archive and the UC Libraries Shared Print collection.

Figure 2: Local holdings record for a title held by the University of Oregon that has contributed to the Orbis–Cascade Distributed Print Archive and WEST print archive. This record indicates that 14 volumes (vols. 1–7 and vols. 9–16) are subject to a retention commitment through December 2035.

Figure 3 (Click image to enlarge): Local holdings for record for an issue–validated (WEST "gold") print archive title held by Stanford University. As shown, extensive detail about the condition and completeness of individual volumes is reported.

Additionally, OCLC Connexion can be accessed directly from the WCRS interface to update LHRs.

Should I use the Constant Data feature?

Yes, the "constant data" feature in Connexion can be used to create custom templates for print archive LHR, e.g., pre–populating selected sub–fields in the 583 to increase efficiency in manual record creation.

What about the batchload of LHRs?

Each holdings record, regardless of format, must contain the OCLC control number of its corresponding bibliographic record [OCLC Batchload].

You must supply all holdings records associated with a bibliographic record for a given Institution Symbol even if there is a change to only one of the holdings records. Each holdings record sent for a specific bibliographic record must represent the holdings data for only one copy. A "copy" may correspond to multiple physical items, e.g., in the case of bound journals.

Your holdings information must be in compliance with the MARC 21 Format for Holdings Data (MFHD) Some fields are required, while the inclusion of others is based on content. See the specifications or the documentation for field definitions.

Holdings statements should meet the standards for identification, recording, and display of holdings data according to Holdings Statements for Bibliographic Items (ANSI/NISO Z39.71).

Holdings statements should use Latin alphabet abbreviations as found in Appendix B of Anglo–American Cataloguing Rules, second edition, 2002 Revision and the CONSER Guidelines for Input of Caption/Pattern and Holdings Data. Records should meet the standards for representation and exchange of holdings data according to MARC21 Format for Holdings Data (MFHD).

Records supplied in the Print Archives Pilot Program must have a 583 field, which should be added also in the library's local system to support future record updates.

OCLC may be able to convert your non–MARC holdings information into usable MFHD records that can be processed through LHRUS if the data is in an electronic format and contains consistent and discernible patterns.

Is my data exposed in other places besides WorldCat?

LHR data is not displayed in WorldCat.org, but can be selectively activated in WorldCat Local sites.

How does this affect ILL?

The print archiving project's retention commitment disclosure strategy had no impact whatsoever on the borrowing workflows in resource sharing.

Cost implications

There are also several areas where new or additional OCLC costs would be incurred as a result of using the recommended approach to print archives disclosure:

New LHR profiling, batch load profiling and cancel holdings set–up for the new symbol (can be one–time charge or separate charges, several hundred dollars each, depending on the timing and particulars),

Lending charges under new Institution Symbol (ongoing, based on transaction volume), and

ILLiad charges to establish new "satellite library" for lending from additional OCLC symbol.

What are the Metadata Guidelines?

Late in 2010, a Coordinating Committee was established to develop recommendations for how libraries could use WorldCat to register content contributed to shared print archives. The Committee consisted of representatives within and outside of OCLC.

Experts from the library preservation, metadata and standards community were consulted over the course of the 18-month project to ensure that the metadata guidelines and implementation procedures were consistent with community norms.

These eight North American institutions—actively engaged in large-scale print activities—volunteered to participate in the project as pilot sites:

The Center for Research Libraries (CRL)

The California Digital Library (CDL)

Indiana University

Stanford University

University of California, Los Angeles

University of California, San Diego

University of Minnesota

University of Oregon

Between January 2010 and March 2012, pilot participants contributed to the development of metadata guidelines, refined a procedure for registering print archive collections in WorldCat, tested record creation and contribution mechanisms, and evaluated the impact of print archive registration on current inter-lending practices.

Use ‡z Public note to specify issue or volume where marginalia is found.

Mold damaged

Use ‡z Public note to specify which issues or volumes are damaged.

Obscured text block

Use ‡z Public note to specify location of obscured text.

Rebacked

Use ‡z Public note to specify which issues or volumes have been rebacked.

Rehoused poorly

Use ‡z Public note to specify which issues or volumes were inappropriately rehoused, so that they may be identified for future preservation actions.

Repaired poorly

Use ‡z Public note to specify which issues or volumes were inadequately or inappropriately repaired, so that they may be identified for future preservation action.

Repaired soundly

Use ‡z Public note to specify which issues or volumes show evidence of prior repair.

Stained

Specify covers, pages, etc. Use ‡z Public note to specify which pages, issues or volumes are stained.

Tight binding

Use ‡z Public note to specify tightly bound issues or volumes.

Torn

Specify covers, pages, etc. Use ‡z Public note to specify which pages, issues or volumes are torn.

Warped/cockled

Specify covers, pages, etc. Use ‡z Public note to specify which pages, issues or volumes are torn.

Yellowed/browning pages

Use ‡z Public note to specify location of yellowed or browning pages.

What are the Preferred ‡| Status terms when ‡a = "completeness reviewed"?

Table 2

Term

Usage guidelines

Binding patterns vary

Method used to identify acidic paper should be reported in ‡z Public note, e.g., pH pen test etc.

Missing

Specify what physical material is missing, e.g., missing foldouts, pages, issues, volumes etc. Use ‡z Public note to specify which issues or volumes are missing or where covers/pages are missing.

Reprints

Use ‡z Public note to specify which issues or volumes are reprints.

What are the implementation steps?

This is a summary of the implementation steps that are needed at each institution.

Areas for coordination by a print archives project manager

Work with and propose the new Institution Symbols for members of the print archiving initiative, following the recommended nomenclature as best as possible. Work with OCLC to determine availability of the proposed symbols. (Requests for symbol set–up and other activities should be specified on the Shared Print Management Order form.) Provide guidance to member libraries about settings for the symbols (supplier/non–supplier) as appropriate for the shared print initiative.

To request a symbol, complete the Shared Print Management Order form requesting new Holding Library Codes be profiled under the current OCLC symbol. Request that the configuration be XXXSP. List the 4–character Holding List the Library Codes you would like under that Inst Symbol, along with description for each, something like this should work:

East – East Branch

MAIN – Main Branch (default)

MUSC – Music School

NORT – North Branch

REFA – General Reference

REFB – Reserved Reference

SOUT – South Branch

STOR – Storange Facility

WEST – West Branch

Facilitate contacts between member libraries and OCLC's customer service units to set up new institutions symbols.

Establish common vocabulary specific to the print archiving initiative for use in the 583. For example, retention period, archiving program name, selected preservation terms from the PDA vocabulary, URL for the print archive initiative documentation.

Facilitate setup of Group Access Capability and Group Catalogs for the print archiving initiative, negotiate group pricing as appropriate.

Areas for coordination by a resource sharing manager, sorted by ILL system

For all libraries, if the library will be lending using the new print archiving OCLC symbol

Obtain authorization and password information through OCLC Order Services using the order form.

When requesting your new OCLC shared print symbol, please be sure to indicate if you will be using WorldShare ILL or if you wish to order an ILLiad satellite license. Your selection will generate a new annual lend-only WorldShare ILL subscription, or an annual ILLiad satellite license (applicable if you already have ILLiad at your library). This step will insure that you receive your user name and password related to your new shared print symbols for WorldShare ILL.

Go into the OCLC Policies Directory to set up contact information, lending policies and any desired deflection rules, and change the symbol from Non–supplier to Supplier.

For WorldCat Resource Sharing libraries

Do basic set–up for new OCLC symbol (Constant Data, etc.).

If desired, add other new shared print archiving OCLC symbols to custom holdings groups and paths, in order to influence where such symbols appear in automatically–created lender strings.

Address questions to OCLC customer support.

For ILLiad libraries

If the library is supporting only the new shared print OCLC symbol with its instance of ILLiad, do basic set up. Address questions to OCLC customer support.

If the library is supporting more than one OCLC symbol with the same instance of ILLiad, it must purchase a license for a "satellite" library at a cost of about $1,200 per year. Address questions about establishment of satellite library to Atlas Systems customer support. (An alternative to establishing a satellite library would be to manage ILL requests sent to the new print archiving symbol using WorldCat Resource Sharing. This would be less expensive and, given the low–use nature of the covered material, not onerous. But it would take this aspect of ILL out of the institution's normal workflow.)

Further calibration is needed if a library intends to use the ISO ILL capability of ILLiad to communicate with other ISO–compliant ILL partners server–to–server rather than through a centralized inter–lending system. Address questions to OCLC customer support.

For VDX libraries

For trading requests within the VDX group, all new OCLC symbols will need to be added to the system tables by the group's agency.

For trading requests outside the VDX with partners using WorldCat Resource Sharing or ILLiad, put in a request through TopDesk account to have VDX support turn on ISO ILL for all the new print archiving symbols. Make sure all OCLC symbols for desired partners are configured in system tables.

What OCLC-costs might be incurred?

A library must have an existing full cataloging subscription with OCLC to register their shared print collection. A new subscription is not required when an existing subscription is in place.

There will be a one-time LHRUS fee to set up batchloading of Local Holdings Records.

For each new symbol associated with a Shared Print Project, OCLC will create a new WorldShare Resource Sharing user name and password.

If the library will be using the WorldCat Resource Sharing interface, an annual lend-only WorldCat Resource Sharing subscription will be associated with that symbol.

If a library wishes to use ILLiad for lending activity, the WCRS lender fee is waived, but a standard, annual ILLiad satellite license fee will be required (this is a standard pricing process across the ILLiad community).